Human Resource Manual - Academic Policies & Resources

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6.1 PROCEDURES FOR ACADEMIC CHANGES

The Student Administrative Services shall maintain an official list of approved courses. This list shall be called the "Register of Courses" and shall be the basis for the course listing in the catalog.

1. Proposals involving the addition, deletion or re-naming of degree programs or degrees must be approved by the Vice-President for Academic Affairs, the Faculty Senate, the Administrative Council, the President, the Board of Trustees and the New York State Education Department.

2. All changes in curricular requirements, as stated in the University catalog, must be approved by the dean of the school, the Faculty Senate, the Vice President for Academic Affairs, the Administrative Council and the President. All changes (except as defined in number 4 below) in course title, foundation course designator, if any, assignment of credit hours and/or description of course content for courses specifically listed in the catalog as required for a degree program must be approved in the same manner.

3. All changes (except as defined in number 4 below) in course title, foundation course designator, if any, assignment of credit hours and/or description, including the addition or deletion of a course, for courses other than those listed as required for a degree program must be approved by the dean of the school and the Vice- President for Academic Affairs. For graduate courses the concurrence of the dean of the Graduate School is also required. It is the responsibility of the department or academic unit which proposes these changes to seek concurrence of any other department or academic unit which might be impacted by the proposed change. If the Vice-President for Academic Affairs determines that such concurrence cannot be obtained, the proposed changes should be forwarded to the Faculty Senate together with a recommendation from the Vice-President for Academic Affairs.

4. Editorial changes that do not substantively change the content or description of a course may be made by the department offering the course with the approval of the dean of the school.

5. After final approval, all changes will be communicated to the deans of the schools and the Student Administrative Services for inclusion in the Register of Courses.

6. Courses not taught within a period of 5 consecutive years will be removed from the list of approved courses. Exceptions must be approved by the dean of the school and the Vice-President for Academic Affairs.

Approved by Faculty Senate-April1997
Approved by Administrative Council-April 1997

6.2 TUTORING

The payment of tuition entitles a student to reasonable personal assistance. Students are encouraged to consult members of the faculty to a reasonable extent and members of the faculty are expected to post on the door of their offices six or eight hours per week when they will be present for such consultation. Faculty members may give tutoring service under the following regulations only when no one else is available to provide the service:

1. All tutoring services shall be arranged through the registrar; and

2. Permission for giving tutoring services shall be granted by the dean of the school in which the course is offered.

Revised August 1966
Editorial Revisions August 1974, 1977

6.3 ROLE OF TEACHING ASSISTANTS

Graduate students who also serve as teaching assistants perform valuable services for the University. Generally teaching assistants (TA's) are assigned to assist the faculty in their teaching. Assistants may be involved in most of the activities related to teaching but are not expected to serve as a replacement for faculty or other staff members. The duties of teaching assistants are normally related to specific work assignments agreed upon by the teaching assistant and his or her supervisor. The spectrum of activities will encompass many of the duties listed below:

1. Teaching students in recitations or laboratories for no more than two different courses within the same session;

2. Grading and recording homework, laboratory reports, or exams;

3. Proctoring exams;

4. Holding office hours and help sessions for their students;

5. Preparing teaching material for their sections;

6. Setting up equipment and maintaining laboratories required for their TA assignments;

7. Performing administrative tasks to facilitate learning.

Teaching assistants are first and foremost graduate students. Therefore, teaching assistants and their supervisors should negotiate work schedules that are consistent with the academic careers of the students and take into account the duties listed above. A full-time teaching assistant load (comprising all associated duties) is an average of twelve (12) hours per week for fifty (50) weeks. Students receiving less than full stipend (and appropriate tuition) will have their loads reduced correspondingly.

Any other duties assigned require the approval of the appropriate department chair, school dean, and graduate school dean.

Approved July 1984
Editorial Change May 1998

6.4 RESEARCH AND CONSULTING

The University encourages its staff to engage in research, consulting and other activities that will promote the professional growth of the individual and thereby strengthen the standing and recognition of the University.

I. Research Policy

Research will be encouraged, within University capacity, by adjustment of teaching loads, use of facilities and allotment of funds. Financial support will be given through the Division of Research with corresponding responsibilities to the Division agreed upon at the time of allotment. No payment of supplemental salary will be made to any faculty for research which is supported solely by University funds.

Payment may be made to persons holding faculty status for work done under contract with outside agencies as follows:

During the summer months, persons holding faculty status may be paid from grants and contracts up to 33 1/3% of the academic year salary, computed as one-ninth of academic salary per month of summer effort.

Faculty members engaged through funds obtained by grants or contracts are responsible to the director and are assigned by him or her 1) to the project director for research work done, and 2) to the departmental chair if the faculty member is to engage in any teaching.

All research involving grants or contracts with outside agencies will be administered by the director of the Division of Research. All commitments involving research use of personnel, equipment, and/or space of departments will be agreed to in writing by the department chair to the director, who then has the responsibility for the facilities and personnel assigned. Such agreements shall be within University policy.

II. Guidelines for Approval of Research

A. General Consideration. All research conducted at Clarkson is expected to be consistent with the objectives of the University, i.e., the education of undergraduate, graduate, and postdoctoral students, the advancement of knowledge through research and scholarship, the preservation and dissemination of knowledge, and the advancement of public welfare. In addition, it is expected that all research shall be soundly based and shall give promise of making a significant contribution to knowledge. The research also shall be judged to be appropriate to the purposes and capabilities of Clarkson. All research shall be carried out by, or under the direction of, a member of the faculty or comparable professional employee.

B. Research Support. Research grants, contracts or gifts will be accepted only when the research contemplated is believed to be of benefit to the University, and the public in general, in accordance with the above objectives. The availability of funds must not be the sole justification for undertaking research. The terms of any grant, contract, or gift for research shall conform to the usual University policies and business procedures and, in general, permit the University to exercise administrative control and accountability for the proposed research.

C. Classified or Proprietary Research. Because Clarkson University engages in research primarily for the advancement, preservation and dissemination of knowledge and for the advancement of the public welfare, University facilities shall not be used for the purpose of classified or proprietary research without the prior approval of the director of Research.

Research contracts in these categories are those which require that the results be withheld from disclosure because the results contain confidential or proprietary information, in the case of private sponsors or, in the case of the government sponsors, any category of classified information defined in the Industrial Security Manual for Safeguarding Classified Information (DOD 5220 22M).

The University does not have the facilities to store, retain, or transmit government-designated classified material and, therefore, cannot approve the conduct of government classified research.

The University recognizes that in some cases it may be necessary to delay the disclosure of results for a limited period of time normally not to exceed sixty days. Additional delays, normally not exceeding four months, may be granted to allow the development of patentable products or techniques or to allow a period of review by the sponsoring agency because of the use of confidential proprietary or government classified information in the conduct of the research. Graduate students considering such projects for thesis work should be informed by the principal investigator of the restrictions involved.

While it is the responsibility of the director of Research to insure that the University's policy on classified or proprietary research is enforced, it is also the responsibility of the principal investigator(s) of any research project to call to the attention of the administration any restrictions that limit the use and distribution of information resulting from the research.

D. Graduate Theses and Dissertations - Theses and dissertations should not incorporate research that cannot be made public at the time the final examination is held.

III. Compliance Issues Related to Research

A. Human Subjects. (See Section 6.5) - The University has adopted the code of medical and general ethics of The Declaration of Helsinki and the American Psychological Association, with the understanding that the University will invoke the code which seems most appropriate to the circumstances which surround a proposed investigation involving the use of human subjects. It remains the responsibility of the investigator to ensure that ethical practices are used during the research, whether it be conducted by assistants, students, or any other research collaborator.

The University will negotiate as necessary and on an individual basis with the Department of Health and Human Services special assurances of compliance with Public Health Services policy relative to responsibility for the rights and welfare of "human subjects at risk" in research projects.

The University has established the Institutional Review Board to ensure that all research conducted involving human subjects meets the Helsinki or APA code. The director of the Division of Research chairs the IRB. A legal officer and relevant intramural and extramural specialists may be called as consultants.

B. Radiation Safety - The University maintains a license and registration from the New York State Department of Health which permits faculty to use radioactive materials and ionizing radiation producing equipment. The University must comply with the State Sanitary Code and the NBS Handbook III. The Radiation Safety Committee administers the radiation program at Clarkson. All research, regardless of funding source, which involves radioactive materials or the acquisition of equipment which produces ionizing radiation, must be reviewed by the Radiation Safety Committee.

C. Controlled Substances. (drugs, needles and syringes) The University maintains a license from the New York State Department of Health and a registration with the Federal Drug Enforcement Administration which allows research using controlled substances to be conducted on campus. The Division of Research maintains the list of approved substances. All proposed research which would utilize a controlled substance must be approved by New York State for both the substance and the research protocol. In addition, the University is governed by pertinent sections Chapter II, Subchapter J, Part 80 of Public Health Law 3308[2] article 33 which deals with record keeping and reporting, and hypodermic syringes and needles. All research on campus must meet those regulations.

D. Animals. Currently, research using live vertebrate, warm-blooded animals is not permitted at Clarkson University.

IV. Salary Recovery Guidelines

An attempt should be made to recover from each sponsored project academic year salary equal to the summer salary requested in the proposal. In cases where asking for full salary recovery may affect the probability of funding of the proposal, the director of the Division of Research, in consultation with the principal investigator and the dean of the principal investigator's school, may reduce or eliminate the amount of salary recovery requested.

If an agency funds a proposal at a reduced level, the director of the Division of Research, in consultation with the principal investigator and the dean of the principal investigator's school, shall determine the best way to revise the budget to meet the available funds while satisfying the research and educational goals for which the proposal was written.

The money raised through salary recovery shall be distributed as follows: two-thirds to the dean of the principal investigator and one-third to the principal investigator's department or area. This money will be spent to support the scholarly activities of the faculty, reduce faculty teaching loads, and support University wide research needs.

V. Consulting

Faculty members are free to engage in personal consulting practices under the following conditions.

A. Any faculty member engaging in consulting must inform his or her immediate supervisor in advance of accepting a consulting obligation.

B. The work does not interfere with their responsibilities to the University. (Such interference is to be judged by the staff member's immediate superior.)

C. University equipment and space are not used (nor can they be borrowed or rented).

D. The University name is not used, other than to identify the consultants as members of the University and their position.

E. Payment charges are to be between client and consultant and are not to be reported to the University, nor is the University to be involved in any way with these charges, except that it is requested that charges be not less than average for similar professional services. If it becomes known that low charges are placing the University in an unfavorable light, the faculty member will be requested to correct his or her range of fees.

F. Faculty members engaged in government-sponsored research are expected to inform and confer with the Division of Research on the nature and extent of consulting which could impair or conflict with their responsibilities to granting agencies. For examples of potential conflict of interest situations, see "On Preventing Conflict of Interest in Government-Sponsored Research at Universities," AAUP Bulletin, Spring, 1965, pp. 42-43.

Revised August 1966, April 1969, February 1978, July 1981, July 1989
Revised and Approved by Faculty Senate February 1989
September 1993
Revised and Approved by Faculty Senate March 1998

6.5 RESEARCH INVOLVING HUMAN SUBJECTS

1. Ethical Policy

The faculty and Board of Trustees of this institution (by action of the Faculty Senate) have officially adopted the Ethical Principles and Guidelines the Protection of Human Subjects, known as the Belmond Report and The American Psychological Association's Ethical Principle's in the Conduct of Research with Human Subjects.

2. Membership of the University Committee Concerning the Rights and Welfare of Human Subjects

The University will maintain an Institutional Review Board (IRB) structured and operating under rules and procedures in accordance with the guidelines put forth in the OPRR Report Protection of Human Subjects (45CFR46). The director of the Division of Research is the chair of the IRB.

3. Review Criteria

Except as provided below all research involving the use of human subjects must be initially reviewed by the IRB. The IRB will use the guidelines published by the OPRR Report (45CFR46) and the American Psychological Association.

The term "human subject" shall apply to any living individual about whom the investigator conducting research obtains data through interaction or intervention of identifiable private information, regardless of their affiliation (or lack of affiliation) with Clarkson University.

EXCEPTIONS:

1. Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as (a) research on regular and special educational instructional strategies, or (b) research effectiveness of or the comparison among instructional techniques, curricular, or classroom management methods.

2. Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), if information taken from these sources is recorded in such a manner that subjects cannot be identified, directly or indirectly, through identifiers linked to the subjects.

3. Research involving survey or interview procedures, except where the following conditions exist: (a) responses are recorded in such a manner that the human subject can be identified, (b) the responses, if they become known outside the research, could reasonably place the subject at risk of criminal or civil liability or be damaging to the subject's financial standing or employability, and (c ) the research deals with sensitive aspects of the subjects own behavior such as illegal conduct drug use, sexual behavior, or use of alcohol. All research involving survey or interview procedures is exempt when the respondents are elected or appointed public officials or candidates for public office.

4. Research involving observation of public behavior except where all of the following conditions exist: (a) subjects can be identified, (b) the recorded observations, if they became known outside the research, could reasonably place the subject at risk of criminal or civil liability or be damaging to the subject's financial standing or employability, and (c) the research deals with sensitive aspects of the subjects own behavior, such as illegal conduct, drug use, sexual behavior, or use of alcohol.

5. Research involving the collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens of these sources are publicly available or if subjects cannot be identified.

4. Assurances

Research to be conducted under a sponsored program normally requires submission and acceptance of an Assurance of Compliance prior to or concurrent with the submission of a proposal. The Division of Research works with the IRB and investigator to prepare these documents.

5. Review Procedure

IRB Review applications may be obtained from the Division of Research. The IRB meets the fourth week of each month. All applications must be submitted to the Division of Research by the 15th of each month. Applications received after the 15th will be reviewed at the following monthly meeting.

July 1970
Revised by the Board of Trustees: May 1974
Revised by the Board of Trustees: May 1994

6.6 INTELLECTUAL PROPERTY POLICY

I. PREAMBLE

It is the policy of Clarkson University (the "University") to encourage creativity and inventiveness in its faculty, staff, and students. By providing facilities, equipment, information, resources, and personnel, and by obtaining external support from public and private sources, the University strives to create an environment fostering the interests of the academic community. The University wishes to offer it's faculty, staff, and students incentives to develop scholarly and creative works and other intellectual property which can be used for the good of the University and the public at large.

II. OBJECTIVES

A. Promote the publication of scholarly works and the discovery of new inventions.

B. Encourage the full and free exchange and expression of creative and scholarly ideas and further scholarly comment within the context of the teaching, research, and public service missions of the University and applicable law and regulation.

C. Maintain and enhance the reputation of the University as a teaching and research institution.

D. Promote the public good by producing, disseminating, and, when appropriate, commercializing works of artistic, scientific, and practical value.

E. Enhance opportunities for cooperation and productive interaction with external sponsors funding University research and creative endeavors.

F. Establish the basis on which income resulting from the commercialization of intellectual property developed by members of the University, whether faculty, staff, or students, is shared by the University with those responsible for its creation.

III. DEFINITIONS

Whenever used in this Policy, the following capitalized terms shall have the meanings given to them below.

A. Creator - each Member of the University who develops or creates Intellectual Property. An individual's status and royalty or other rights as Creator shall continue even if the individual leaves the University.

B. Creative Works - articles, papers, books, novels, compilations, theses, poems, text, and other literary works; graphic designs, paintings, drawings, sculptures, musical compositions, films, photographs, choreographic works, and other visual and performing art works; architectural and engineering drawings; and all other works subject to protection under copyright law; provided, however, that the term "Creative Works" shall not include computer software or mask works.

C. Intellectual Property - inventions, (patentable and non-patentable), creations, innovations, discoveries, Creative Works, trade secrets, computer software, maskworks, trademarks, service marks, and tangible research property. "Tangible research property" is any physical item, not otherwise listed in the preceding sentence, used or generated in connection with any research, scholarly, or administrative activity conducted by any Member as part of the Member's normal and customary duties or responsibilities to the University which relate to research, including notes, charts, graphs, compilations of data in any form, draft grant applications, draft or unpublished articles, computer printouts, cell lines, prototypes, constructions, video tapes, films, biological materials, integrated circuit chips, engineering and architectural drawings, etc.

D. Members - faculty, staff, and students of the University, whether or not compensated for their services; persons performing research or engaging in work or study utilizing University resources or facilities; and other persons engaged by the University to perform research whether or not using University resources and facilities.

E. Sponsored Program - any grant, contact, or similar arrangement between the University and a private or government sponsor furnishing funds, equipment, or other resources to support research, the creation of a Creative Work, or any other educational or scientific activity to be performed by one or more Members of the University may result in the creation of Intellectual Property.

F. University Resources - facilities, library resources, equipment, funds, salary, personnel, and other resources belonging to or supplies by the University

IV. OWNERSHIP OF INTELLECTUAL PROPERTY

A. General Ownership Rules

(1) Intellectual Property created or developed within the context of a Sponsored Program shall belong to either or both the sponsor and University in accordance with the terms of the Sponsored Program, or as otherwise specifically provided by those terms.

(2) Intellectual Property created or developed with the use of University Resources shall belong to the University, except that a Member's use of the following in connection with the creation of Intellectual Property shall not be deemed to be in the use of University Resources vesting ownership in the University; (a) his or her office, (b) library resources, or (c) other University Resources to an insignificant degree.

(3) Intellectual Property developed wholly in part with University funds granted specifically for the creation of the Intellectual Property shall belong to the University. When the University provides financial support for the creation of Intellectual Property, the University will endeavor to set forth the terms of that support in a written agreement with the Creator.

(4) Intellectual Property developed or created by a Member within the scope of the Member's Regular or customary duties as an employee shall belong to the University. The University will endeavor to clarify those Member positions within the University calling for the creation of Intellectual Property.

(5) An exception to University ownership of Intellectual Property shall be made, and such Creative Works owned by the Creator, except as follows:

(a) Creative Works developed pursuant to the Sponsored Program will be governed by IVA(1).

(b) Creative Works developed with support of University funds providedspecifically for creation of the Works shall belong to the University unless otherwise expressly stated in writing;

(c) Creative Works developed by a Member pursuant to a specific work assignment from his or her project leader/chairperson shall belong to the University.

(6) Except as mandated by the terms of certain "Requirements" relating to governmental funding of various research centers at the University as outlined at VI-B(3), all other Intellectual Property shall belong to the Creator free of any claims of, or obligation to, the University.

B. Transfer of Ownership

(1) In it's discretion, the University may elect not to retain ownership of Intellectual Property which it owns under the terms of this Policy. This election may be made at the time of creation of the Intellectual Property or at any time thereafter if the
6.6(4)

University does not desire to protect or commercialize the Intellectual Property. If
the University elects not to exercise or to relinquish ownership of Intellectual Property, it shall assign ownership rights to the Creator, subject to any rights in favor of others which might exist under the terms of a sponsored Program or other arrangement pursuant to which the Intellectual Property was created.

(2) If two or more Members contributed to the creation of Intellectual Property owned by the University, and the University elects not to retain ownership thereof, the Intellectual Property shall be assigned to the Members, as joint owners, in such percentages as the Members shall agree in writing. If the Members are unable to agree, their respective ownership interests shall be deemed equal or assigned to all as their interests may be determined among them.

(3) Whenever the University elects not to exercise or to relinquish ownership of Intellectual Property under this Section, the University hereby reserves for itself, without further act or deed, the royalty-free right to use the Intellectual Property for is own education and research purposes.

(4) In order to evidence ownership of patents or other intellectual Property as established by his Policy, the University and any Member involved shall sign any and all documents reasonably necessary or desirable for filing with the Patent and Trademark Office, the Copyright Office, or elsewhere.

V. DISCLOSURE AND PROTECTION OF INTELLECTUAL PROPERTY

A. Inappropriate or premature disclosure of Intellectual Property to persons, firms or corporations outside the University may jeopardize the ability to protect it. Prompt disclosure to the University of Intellectual Property is essential to the proper administration of this Policy. In addition, Sponsored Programs frequently give the sponsor the right to review or inspect a discovery or invention. Each Member shall promptly disclose to the Division of Research any creation, invention, discovery, improvement, or other Intellectual Property developed or created by the Member or under his or her supervision if the University has or may have an ownership interest under this Policy. Disclosure shall be made in the manner and with the degree of specificity as the Division of Research may prescribe. No other disclosure shall be made without the proper approval of the Director, Division of Research.

B. After consulting with the Creator and other appropriate parties, the University, is its discretion, shall determine whether and to what extend to seek legal protection of Intellectual property owned by the University. If the University elects not to seek legal protection, ownership may revert to the Creator as specified in Section III-A.

C. The University may make suitable arrangements not inconsistent with the provisions of 6.6(5) this Policy with agencies or firms for the purpose of obtaining services and advice with respect to the patentability of inventions, obtaining patent or copyright protection, and management and commercialization of Intellectual Property.

D. The Creator shall cooperate and assist the University in all phases of the process of seeking protection for the University's Intellectual Property, including execution of documents of assignment of otherwise pursuant to III-B(4) above. The costs of obtaining legal protection for the University's Intellectual Property shall be paid by the University, or by sponsors where appropriate.

E. In cases where the University has not obtained legal protection for its Intellectual Property and has elected to transfer ownership to the Creator, the Creator may place the Intellectual Property in the public domain without obligation to the University. The University will maintain a file of its Intellectual Property dedicated to the public domain and will arrange for copies to be available to the public through the Educational Resources Center.

VI. DISTRIBUTION OF INCOME FROM COMMERCIALIZATION OF INTELLECTUAL PROPERTY

A. It is the general policy of the University to encourage the commercialization of Intellectual Property resulting from the scientific or educational endeavors of its Members.

B. In recognition of the efforts and contributions of Creators who develop Intellectual Property owned by the University, the University will share income derived from its commercialization with the Creators in accordance with the following guidelines.

(1) From gross income derived from the commercialization of its Intellectual Property (whether from sale, licensing, royalties, or otherwise), the University will retain enterprise expenses in an amount equal to the costs and expenses incurred in connection with the legal protection, development promotion, marketing, and licensing of the Intellectual Property, and any other direct costs associated with its commercialization.

(2) The balance (the "Net Income") shall be distributed as follows:

25% to the University to help defray costs of Managing the Intellectual Property program generally.

50% to the Creator(s) Joint Creators shall determine in writing what percentage of the Creator's share of Income shall be allocated to the respective Creators. See IV-B(2).

25% to the Creator(s)' For the benefit of the Creator(s)' appropriate sub-School or comparable unit, typically the department, with half of this
unit from which the amount for the direct benefit of the Creator(s)' Intellectual Property research program for as long as he/she is an emanated active researcher within the University.

In the case of Intellectual Property supported by two or more organizational units of the University, this portion of the Net Income shall be allocated and made available to the appropriate school,department, or comparable unit on an equitable basis as determined by the Director, Division of Research.

Further sub-allocation of this portion of the Net Income for the Creator(s)' school or comparable unit may be made by the Director, Division of Research for specific purposes or programs of the school or comparable unit.

(3) The above guidelines are subject to certain pre-existing and ongoing requirements ("Requirements") affecting income from and license or other rights in various categories of Intellectual Property, including Requirements relating to Intellectual Property.

(a) "created or developed at, or though the use of, the facilities of" the Center for Advanced Materials Processing in accordance with Section 23 of New York State Laws of 1987, Chapter 839, and any agreement between the University and the New York State Urban Development Corporation ("UDC") pursuant to that legislation; and

(b) resulting from research partially or totally supported by funds from The NASA Center for Commercial Crystal Growth in Space or from others, as set forth in NASA Policy statements including a document entitled "Intellectual Property Rights - CCDS Program."

Unless the terms of the Requirement provide otherwise, Net Income for purposes of this Policy shall exclude all amounts payable to UDC, to NASA, or to others as required by any such Requirement.

C. The provisions of this Policy dealing with the distribution of income shall apply only to income received from Intellectual Property disclosed to the University subsequent to the effective date of this Policy.

VII. ADMINISTRATION OF INTELLECTUAL PROPERTY POLICY

A. Responsibility for all Intellectual Property matters, including the interpretation and administration of this Policy, shall rest with the Division of Research in consultation with an Intellectual Property Committee.

B. The Division of Research will provide the following support for implementation of this Policy:

(1) assure that Members are aware of and adhere to provisions in research contract of other agreements with outside parties restricting publication rights or otherwise relating to the creation, use, or disposition of Intellectual Property;

(2) facilitate the early identification of potentially patentable inventions and discoveries, the preparation of disclosures, and the review thereof;

(3) advise on available methods for the protection of copyrightable works, and, if appropriate, assist in negotiations for publication or commercialization;

(4) review the terms and conditions governing others' Intellectual Property acquired for use in University-sponsored programs and activities and advise on compliance with those terms and conditions;

(5) issue guidelines or other information and materials applicable to this Policy;

(6) evaluate, in concert with Creators, disclosures in order to confirm ownership or applicable grant or contract terms;

(7) determine whether legal protection (e.g., patent filing, formal copyright registration, or other mechanism) should be procured and, if so, the territory to be covered; and

(8) determine, as expeditiously as possible, the commercial market potential for an invention, discovery, or other work.

C. Intellectual Property Committee

(1) The Intellectual Property Committee shall provide advice and make recommendations to the Director, Division of Research, with respect to interpretation and implementation of this Policy, amendments to this Policy, and such other matters as the Director may deem appropriate.

(2) The Intellectual Property Committee shall be comprised of nine persons as follows: a chair of the committee; five members of the faculty (provided that no department shall have more than one member); a member of the professional non-teaching staff; and, ex officio, the Vice President for Business and Finance and the Director, Division of Research. The Faculty Senate shall nominate for the President's approval the faculty members of the committee (other than ex officio members), as well as the chair of the Committee who shall be a senior, tenured member of the faculty. Administrative Council shall nominate the professional non-teaching staff member. All nominees must be approved by the President.

(3) Faculty and staff members (other than ex officio members) of the Committee shall be appointed for three year terms, renewable for a maximum of two additional terms. Terms shall be staggered so that no more than three new members will be appointed each year.

(4) Should any member of the Committee be unable to complete his or her term of service, the Faculty Senate (or Administrative Council) will nominate, for the approval of the President, another member of the faculty (or the professional staff), as appropriate, to serve for the duration of the unexpired term.

(5) No member of the Intellectual Property Committee may participate in the deliberations of the committee if that member has a personal interest or direct involvement in matters to be discussed.

(6) The Director, Division of Research, and the chair of the Intellectual Property Committee shall jointly report annually to the President of the University upon matters of significance relating to the administration of this Intellectual Property Policy.

VIII. CONSULTING RELATIONSHIPS

The University favors participation by faculty and other Members in professionally-related consulting relationships with outside entities. In order to maintain systematic awareness of such relationships, and to develop and implement any University policies that may be deemed appropriate relating to proper balance between such relationships and the Member's teaching, research, and service responsibilities, as well as to protect both the Member and the University from potential liabilities, the Member shall notify his or her department head or supervisor in writing, with copy to the Director, Division of Research, in advance of accepting any consulting relationship. This notification shall conform to relevant provisions of the Operations Manual. The notification may, but need not, specify the financial consideration (if any) anticipated by the member, but shall specify the subject matter, anticipated time commitment, and entity involved. It also shall contain such other information and assurances relating to protection of the University and Member as the Director, Division of Research, shall reasonably request through guidelines to be issued in consultation with the Intellectual Property Committee. Where such relationships pre-exist promulgation of this Intellectual Property Policy, written notification as specified above shall be given reasonably promptly after such promulgation.

IX. MISCELLANEOUS

A. It shall be the responsibility of the Department Chair and/or supervisor in any department in which a visitor is performing University research or scholarly activities which may result in the creation of Intellectual Property to ensure that this Policy is described to the visitor and that the visitor consents, on forms provided by the Division of Research, to abide by it.

B. The University reserves the right to amend this Policy from them to time, including the method by which income will be shared with Creators. Any Member of the University may propose changes or additions to this Policy. The Intellectual Property Committee shall consider such proposed changes and, upon open deliberation, recommend adoption of such changes and modifications as may be deemed by it to be reasonable, appropriate for the furtherance of the University's Policy for the management of Intellectual Property and consonant with current judicial and further interpretation of the law. The Director, Division of Research, may accept or reject rule changes recommend by the Intellectual Property Committee.

Faculty Senate Action, October 21, 1992
Administrative Council Action, November 9, 1992
Board of Trustees Action, January 20, 1993